SEC Form 4 · accession 0000049071-16-000124
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heidi S Margulis
Officer — Senior V.P. -Corporate Affairs
Period of report
Feb 18, 2016
Accepted (ET)
Feb 22, 2016 · 6:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000049071
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Humana CommonF9 | Feb 20, 2016 | M | 6,363 | $0.00 | A | 18,382 | D | |
| Humana Common | Feb 20, 2016 | F | 2,254 | $166.345 | D | 16,128 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF4 | $167.805 | Feb 18, 2016 | A | 14,764 | A | — | Feb 18, 2023 | Humana Common | 14,764 | 14,764 | D |
| Restricted Stock UnitsF5,F6 | — | Feb 20, 2016 | M | 1,544 | D | — | — | Humana Common | 1,544 | 0 | D |
| Restricted Stock UnitsF5,F8 | — | Feb 18, 2016 | A | 3,278 | A | — | — | Humana Common | 3,278 | 3,278 | D |
| OptionsF1 | $72.84 | holding | — | — | — | — | Feb 20, 2020 | Humana Common | 1,936 | 1,936 | D |
| OptionsF2 | $102.155 | holding | — | — | — | — | Feb 18, 2021 | Humana Common | 7,264 | 7,264 | D |
| OptionsF3 | $164.645 | holding | — | — | — | — | Feb 24, 2022 | Humana Common | 14,913 | 14,913 | D |
| Restricted Stock UnitsF5,F7 | — | holding | — | — | — | — | — | Humana Common | 1,591 | 1,591 | D |
Explanation of responses
- F1Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16.
- F2Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17.
- F3Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/15, vesting in three increments from 02/24/16 to 02/24/18.
- F4Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/16, vesting in three increments from 02/18/17 to 02/18/19.
- F5Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).
- F6Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
- F7Restricted stock units granted to reporting person on 2/18/14, 100% of the award is vesting on 2/18/17.
- F8Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/17, and 12/15/18.
- F9Includes both time and performance-based restricted stock units that vested on 2/20/2016.